[Federal Register Volume 63, Number 139 (Tuesday, July 21, 1998)]
[Notices]
[Pages 39187-39195]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-19466]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Electronic Records Work Group Draft Report; Appendix C
AGENCY: National Archives and Records Administration (NARA).
ACTION: Request for comment.
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SUMMARY: This notice contains the Electronic Records Work Group's
proposed strategy for Federal agencies to implement the Work Group's
proposed recommendation that agencies must schedule their program and
unique administrative records in all formats. It proposes guidance that
NARA should issue on the revision of existing records disposition
schedules to provide disposition authority for electronic source
records created using office automation applications, which were
covered by the 1995 General Records Schedule (GRS) 20, items 13, 14 and
15. Your comments are requested on the proposed Appendix C which
follows this notice and in response to the questions posed in the
SUPPLEMENTARY INFORMATION.
DATES: Comments must be received on or before August 20, 1998.
ADDRESSES: Comments may be sent electronically to the e-mail address
<[email protected]>. We ask that lengthy attachments be sent in
ASCII, WordPerfect 5.1/5.2, or MS Word 6.0 format. If you do not have
access to e-mail, comments may be mailed to Electronic Records Work
Group (NPOL), Room 4100, 8601 Adelphi Rd., College Park, MD 20740-6001,
or faxed to 301-713-7270.
[[Page 39188]]
FOR FURTHER INFORMATION CONTACT: Michael Miller at 301-713-7110, ext.
229.
SUPPLEMENTARY INFORMATION:
The proposed Appendix C provides guidance for scheduling electronic
source records (the electronic record that resides on an agency's
electronic mail, word processing, or other office automation systems)
formerly authorized for disposal under GRS 20. The electronic source
documents addressed in this appendix are those that correspond to
program records and administrative records not covered in the GRS. It
is not meant to provide guidance for scheduling records in electronic
recordkeeping systems and other records not disposable under GRS 20.
Instructions for scheduling those records are provided in other NARA
guidance. It is also not meant to provide guidance on electronic
recordkeeping, which will be issued separately. The scheduling
procedures described in the document should be conducted in the context
of the agency's current records management program.
This document provides three models for scheduling electronic
source records. While the models vary in format, they all accomplish
the same result. Model 1 requires that agencies add a disposition for
the electronic source records formerly covered by GRS 20 to every
series in their manual or records schedules. This model is most
appropriate for agencies that expect the retention of these records to
vary considerably from series to series because they have different
business needs for the records and their technology base allows them to
implement the dispositions. The format of Model 2 allows the agency to
obtain the approval for the dispositions without having to specify each
series, except those for which the agency is requesting disposition
instructions that deviate from the norm. Model 2 is appropriate for
agencies that have a business need to maintain a few electronic source
records for a different period of time than the majority of such
records. Model 3 is appropriate for agencies that have neither the
business need nor the technical capability to maintain the electronic
source records for varying periods of time and have decided on a single
disposition for the records.
No matter which format is chosen for submitting the schedules,
agencies are expected to conduct a series-based analysis of their
business needs and review their technical capabilities and to provide
NARA with that information. NARA will also review the submissions on a
series basis. Although Model 3, and to some extent Model 2, do not
require separate disposition instructions for each agency series,
please note that, like Model 1:
(1) Models 2 and 3, require that agencies analyze their
recordkeeping needs and practices, including their needs for the
electronic copies.
(2) Models 2 and 3 require that agencies provide NARA with
information about their technical capabilities and other recordkeeping
policies so NARA can assess on an agency by agency (and in some cases
component by component) basis whether the agency is capturing the
necessary information from electronically generated records in the
records placed in an agency's recordkeeping system and whether the
agency's justification for the early disposal of the electronic source
records is supported by the state of the agency's technical
capabilities.
(3) To use Model 2 or 3 agencies must identify what existing
records the new disposition(s) will affect. This will allow NARA to
determine whether the dispositions are appropriate. If there is no
existing schedule for a body of records, the agency must schedule all
of the records in all media following the guidance in NARA Bulletin 98-
02.
Also, please note that no matter which model is used, the schedule
will be published in the Federal Register for comment. The Federal
Register notice will reference the existing schedules that are affected
so that the public has sufficient information to comment.
With these parameters in mind, we also ask your comments on the
following questions:
C1. Are the instructions for conducting the analysis of
recordkeeping needs and capabilities sufficiently clear?
C2. Are the instructions for scheduling the records sufficiently
clear?
C3. This document proposes a deadline of 180 days for agencies to
submit schedules (SF 115s) to cover their electronic source records or,
if the agency cannot meet that deadline, a deadline of 120 days for
submitting a plan that sets milestones for accomplishing the scheduling
effort. Are these appropriate time frames?
C4. This document includes a questionnaire concerning the systems
used by an agency, its technical capabilities for recordkeeping, and
the administrative controls used by the agency. Does the questionnaire
ask the right questions to permit NARA to appraise the electronic
source records? Should any questions be added or dropped?
C5. The scheduling process described in Appendix C will allow NARA
to assess proposed retentions for the electronic source records based
on the agency's internal records management policy, current
recordkeeping systems and currently installed technology. However,
technology changes rapidly and changes in technology will affect
recordkeeping. Currently agencies are required to schedule all
``records of new programs and of programs that are reorganized or
otherwise changed in a way that results in the creation of new or
different records within 1 year of creation'' (36 CFR 1228.26(a)(2) and
1234.32(a)). Agencies are also required to review and update their
schedules annually (36 CFR 1228.50(d)). Are these requirements
appropriate in the current technological environment? If not, what
process(es) should be instituted to ensure that as technology changes,
agencies and NARA address the issue of whether the retention
requirements, and in the case of permanent records, the transfer
medium, should be changed?
Dated: July 16, 1998.
Lewis J. Bellardo,
Deputy Archivist of the United States.
Appendix C: Proposal for Developing Records Schedules That Include
Office Automation Records
Table of Contents for Appendix C
Executive Summary
Scope
Description of Proposal
Agency Action
Selection of Model or Plan
Description of Models
Submitting a Planning Package for Scheduling Electronic Source
Records
NARA Action
Schedule review
Plan review
Public notice for review of SF 115's
Part I: Questionnaire To Be Answered by Agencies for Each Electronic
Source Records Disposition Request (SF 115)
Part II: NARA Bulletin 98-02, Disposition of Electronic Records
Part III: NWM 06-98, Memorandum to Agency Records Officers and
Information Management Officials
Executive Summary
The Electronic Records Work Group proposes that NARA issue guidance
to agencies on the revision of existing records disposition schedules
to provide disposition authority for electronic source records created
using office automation applications (e-mail, word processing,
spreadsheet and similar applications) which were covered by the 1995
General Records Schedule (GRS) 20. This proposal provides guidance for
[[Page 39189]]
the submission of schedules and an overview of the NARA review and
approval process.
Under this proposal, agencies will be offered two alternatives. The
first alternative requires the agency to submit, within 180 days, a
complete scheduling package to cover the electronic source records of
its program and agency-specific administrative records created using e-
mail, word processing, or other office automation applications which
are not covered by General Records Schedules. If an agency is unable to
meet this deadline, it must, within 120 days, submit a planning package
that includes a project plan with milestones for reviewing the agency's
current schedules and submitting to NARA revised schedules for
electronic source records. In both cases, agencies ultimately must
conduct a series-based analysis of their electronic source records and
NARA will conduct a series-based review of the proposed disposition
authorities. The public will have the opportunity to comment on all
proposed dispositions for the electronic source records.
The Work Group proposes that, as part of its implementation of this
report, the Archivist issue a NARA bulletin to agencies that would
contain the requirements that follow, and provide no-cost training on
implementing the requirements.
Scope
Agencies create a variety of records in connection with the use of
computers and related communications systems. They create records about
information technology, such as records about the development,
operation, maintenance and support of computer systems. In the course
of using information technology, they create certain types of records
that are necessary for effective use of the technology, such as source
code for computer programs, test data files, and backup files, among
others. The proposed new General Records Schedule for information
technology records (Appendix E) will cover common administrative
records in these two categories: records about information technology
and records necessary for the effective use of information technology.
Agencies also make or receive electronic records using information
technology in carrying out any agency program and administrative
activity. From a technical perspective, there are two distinct contexts
in which agencies create such electronic records. The first context is
that of a specific information system or application system. An
information or application system is a specific application of
information technology in support of a program or administrative
function. The design of an application system includes the
specification of what types of information will be captured in the
system and how they will be organized. Thus, the application system
design includes the definition of the records and series of records
which will be created and maintained in the system. An information or
application system involves the creation, manipulation, retention and
disposition of records of the function which it supports. The
instructions in this appendix do not apply to scheduling these systems.
Each agency should schedule all of the records series retained within
each application system on a comprehensive basis.
The second technical context is end-user computing. In today's
environment, most Federal employees are provided with generic office
automation tools, such as word processing and e-mail, which they use to
generate electronic records related to their work, regardless of the
nature of the work. In contrast to an application system, where the
records fall into one series or a group of related series, end users
can and do create a variety of records using office automation systems.
A single user may create word processing files and send and receive e-
mail messages related to both program and administrative activities.
These records may belong in files that are completely unrelated, such
as the employee's personnel folder and agency files on policy
development. Records created using office automation software must be
filed in electronic or paper recordkeeping systems, which agencies are
required to schedule under current NARA regulations (36 CFR 1228.26).
In either case, the agency needs to provide for the authorized
disposition of the copies remaining on the original systems outside of
the recordkeeping system. These records are termed ``electronic source
records'' because they are electronic records which serve as the
sources of the records filed in the agency's recordkeeping system.
NARA will provide, in the GRS, Government wide authorization for
the disposition of electronic source records used to create the types
of records covered by GRS 1-16, 18, and 23. Agencies must obtain
authorization for disposition of all other electronic source records by
submitting schedules (SF 115s) to NARA. This proposal describes the
development, submission and approval of such schedules.
All agencies must ensure that all their records are scheduled.
Consequently, each agency (or components of agencies that have
independent records management programs and normally submit records
schedules to NARA for approval) must ensure that its records schedules
cover those electronic records not covered by the GRS that were created
(or received) on e-mail, word processing, spreadsheet, graphic
presentation and other office automation software. Agencies with
schedules that do not include disposition instructions for such
electronic source records must revise their schedules to do so and
submit them to NARA for approval. To accomplish this effectively,
agencies will have to conduct an analysis of the coverage of their
current schedules, their current and foreseeable business 1
needs, and their current and near-term technological capabilities.
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\1\ The term ``business needs'' as used in this document refers
to an agency's need to conduct its business, maintain a record of
its essential activities and decisions for its own use, support
oversight and audit of those activities, and permit appropriate
public access.
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The Work Group recognizes that some agencies currently do not have
a compelling business need, the resources, or the technology
infrastructure to support electronic recordkeeping. Although Federal
agencies are required to manage their records in all media in
accordance with their business needs, for many offices that currently
means maintaining their recordkeeping subject or correspondence files
on paper or microform rather than electronically. At the same time,
agencies are moving at varying rates toward automating their business
processes to meet their own needs and those of their customers.
Automated processes generate electronic records, and agencies will need
to ensure that all electronic records are properly scheduled.
Agencies are encouraged to submit their revised schedules as soon
as practicable; however, the Work Group recognizes that there is a wide
variation in status of approved schedules, current and foreseeable
recordkeeping needs, and current and planned technological capabilities
across the Federal government. The Work Group also recognizes the
different sizes and missions of agencies.
Description of Proposal
The Work Group proposes that in implementing this report, the
Archivist issue a NARA Bulletin to provide agencies with guidance on
how to develop and justify schedules for electronic source records.
This appendix contains the language that the
[[Page 39190]]
Work Group proposes for the Bulletin. An agency should choose whichever
of the following alternatives best meets its needs for managing this
scheduling effort:
(A) Scheduling Electronic Source Records
Submit a completed scheduling package (described below) to cover
electronic source records for program and agency-specific (not covered
by the GRS) administrative records within 180 days of the date of the
NARA Bulletin.
Agencies may follow any of the three models presented here for
their proposed schedules:
Model 1--an agency would add an appropriate disposition
for the electronic source records formerly covered by GRS 20 to every
disposition instruction in its manual or records schedules.
Model 2--an agency would schedule the electronic source
records for selected individual series and combine other series under
one disposition instruction. The format of Model 2 allows the agency to
obtain the approval for the dispositions without having to physically
annotate the dispositions of each series of records.
Model 3--an agency would provide for the disposition of
all electronic source records under one schedule item.
Regardless of which model is used, agencies must submit background
information and justifications (see questionnaire described in Part I)
to enable NARA to analyze and review the submissions effectively.
(B) Submit Plan for Scheduling Electronic Source Records
If an agency cannot determine which model is most appropriate or
prepare the necessary submissions within 180 days, the agency may,
within 120 days, submit a plan to NARA for the completion of the
scheduling. This plan must include the following three elements:
A statement from the agency head (or head of the agency
component that will submit the schedule) that schedule requests cannot
be completed within 180 days and a commitment to schedule the agency's
electronic source records in accordance with a plan proposed by the
agency and approved by NARA.
A plan (described below) covering a period not to exceed
two years, for the submission of proposed schedules for all electronic
source records, with milestones and partial schedule submissions
provided at pre-determined intervals.
A schedule (SF 115) requesting an interim disposition
authority for a period not to exceed two years for all electronic
source records.
Although the approval of requests for interim disposition authority
will be expedited by NARA, regulatory requirements for publication and
comment periods in the Federal Register for all requests for the
destruction of temporary records will require at least 90 days.
Agency Action
Selection of Model or Plan
Each agency must determine, after reviewing its existing approved
records schedules, the most appropriate model for drafting a proposed
schedule that covers electronic source records generated on e-mail,
word processing, spreadsheet, graphic presentation and similar office
automation software. In making a choice between the models, the agency
may wish to ask several specific questions about the agency's office
automation systems and recordkeeping practices:
(1) Are the same office automation systems and software used
throughout the agency?
(2) When would it be more efficient to destroy unneeded electronic
source records within each system--at the time a file copy is generated
or at some other time?
(3) To what extent do the agency's office automation systems, used
for e-mail, word processing and other end-user computing, have records
management capabilities provided by electronic recordkeeping systems
(e.g., they allow users or network administrators to differentiate
between records and nonrecord material, support the allocation of
records to specific series or file groupings with retention periods
approved by NARA, and sustain subject matter searches)?
(4) Will anticipated internal and external reference and access
needs be adequately met by the records in presently established
recordkeeping systems (in paper, microform, or other media) or would
these needs be better met by retaining (in addition to the record in
the recordkeeping system) the electronic source records in the original
system?
(5) Are the bulk of the file series that comprise the agency's
recordkeeping systems covered by up-to-date NARA-approved schedules?
Several factors may influence the agency's choice of an alternative
and scheduling model. Both the scheduling alternative and planning
alternative require the scheduling of electronic source records.
However, the requirement to schedule the electronic source records
assumes that the agency has already scheduled most or all of its
recordkeeping series. If this is not the case, the agency will have to
schedule the recordkeeping series as well as the electronic source
records. This will affect which of the scheduling models described
below it will choose. In effect, some agencies will be updating their
schedules at the same time they are scheduling their electronic source
records.
Agencies may choose to submit a plan, rather than completing the
requirements for one of the models:
(1) If they are unable to complete the scheduling within 180 days;
(2) If the agency's existing schedule is significantly out of date
and must be revised; and/or
(3) If the agency has not implemented guidance consistent with
current NARA regulations concerning e-mail and other electronic
records.
When agencies do not have current disposition authorities for the
recordkeeping copies of series with electronic source documents, they
should schedule these series through the usual scheduling process,
submitting SF 115 requests in accordance with 36 CFR 1228, subpart A.
Agencies are reminded also of the regulatory requirement to submit to
NARA, within one year, schedules for the ``records of new programs and
of programs that are reorganized or otherwise changed in a way that
results in the creation of new or different records'' (36 CFR 1228.26).
Description of Models
Model 1--an agency would add an appropriate disposition for the
electronic source records formerly covered by GRS 20 to every
disposition instruction in its manual or records schedules.
Description: Agencies may wish to revise and/or develop individual
disposition instructions for the electronic source records generated by
office automation systems in each scheduled program and agency-specific
administrative series and allow for varied retention periods by series.
In that case, agencies would list each of their series and provide
disposition instructions for the electronic source records.
Appropriate Usage: This scheduling model is most appropriate when:
(1) The agency has determined that it has a business need and the
technological capabilities to maintain electronic source records in
addition to the paper (or electronic) records which are maintained as
the recordkeeping copy and the electronic source records
[[Page 39191]]
need to have varying retention periods; or
(2) The agency has already planned to revise its schedules, and
will be able to accomplish this within the 180-day time frame or will
submit incremental schedules under an approved plan.
Example. Disposition statement for series of official decision of
the Commission.
Official Decisions of the Commission
a. Signed copies of the official decisions:
Official signed copies of the decisions maintained as the
official record. Permanent. Transfer the official signed copies of
the decisions to the National Archives in ____year blocks
when____years old.
b. Electronic copies of Commission decisions
Electronic copies of decisions published on CD-ROM. Permanent.
Transfer a copy to the National Archives upon publication.
c. Electronic Source Records.
Electronic records in word processing files used to create both
Items a and b. Delete after the recordkeeping copy and the
electronic publication copies have been produced. Individual records
may be retained for a limited period of time to facilitate other
operational activities such as updating or revision.
Model 2--an agency would schedule the electronic source records for
selected individual series and combine other series under one
disposition instruction. The format of Model 2 allows the agency to
obtain the approval for the dispositions without having to physically
annotate the dispositions of each series of records.
Description: Model 2 allows agencies to group together those series
for which there is a common disposition and provide separate
dispositions for the series where the retention and disposition needs
are different. Under Model 2, an agency may submit a schedule that
provides uniform disposition instructions for most electronic source
records and separate dispositions for particular series, functions or
organizational components where needed to meet agency business needs,
including internal or external reference needs. A variant of this model
would be to develop one or more dispositions applicable to the
electronic source records for multiple records series within a broad
functional area or business process where a common disposition is
appropriate. Such a schedule might include separate dispositions for
the electronic source records for functions or processes such as
regulatory development, planning, application review, project
management, or any business process or function in the agency. In
either case, the schedule will consist of two parts: (1) item(s) for
groupings of records with the common disposition instructions, and (2)
items that are exceptions to that common disposition. NARA will provide
a series-based review of the program records and a more general review
of the administrative series, based on the agency questionnaires
provided with the agency submissions.
Appropriate Usage: This scheduling option is most appropriate when
the agency intends to schedule the majority of its electronic source
records in one schedule item (i.e., Model 3) but has identified one or
more records series, or the collective series of one or more
organizational components of the agency, where it is in the agency's
interest to retain the electronic source records for different periods
of time. For example, when specific documents serve as models that are
reused, with appropriate modifications, in a number of cases, and the
agency's recordkeeping system is on paper, keeping the source document
in electronic form would facilitate reuse.
Sample Wording for the Schedule Item Covering Most of the Records
Series
1. This schedule covers the electronic source records for those
series whose disposition was previously approved by NARA under the
following SF 115s (or agency published disposition manual) currently
in effect: (List the previously approved schedule items or agency
disposition manuals included in coverage).
Electronic source records maintained in addition to the copy
preserved in an agency recordkeeping system. Includes records in all
formats/media that are used as sources for the creation of a
recordkeeping copy, such as electronic records that remain on
electronic mail and word processing applications after the
recordkeeping copy has been produced.
Delete electronic source records after a recordkeeping copy has
been produced. Individual electronic source records may be retained
for a limited period of time to facilitate other operational
activities such as updating or revision.
[A numbered list of the exceptions to this general disposition would
follow. Exceptions can be by series, business process, function, or
unit. The basic format for exceptions would include identification of
the type of record, component, function, or other identification as
appropriate; citation to the approved schedule where the record copy is
scheduled, and disposition. This list provides examples of each type of
exception. Actual agency schedules might use one or more of these types
of exceptions based on their needs. In actual practice some items may
need to be subdivided into sub-items.]
Examples of exceptions by series
2. Exceptions
a. Budget Development Spreadsheets.
Record copy included in the budget case file scheduled for
disposal in N1-XX-XX-X. Upon completion of budget cycle, transfer
(move) electronic source record to Budget Directory. Delete from
Budget Directory when ______ years old.
b. Appraisal Memorandums.
Record copy included in the appraisal case file scheduled for
permanent retention in N1-XX-XX-X. Upon approval of schedule
transfer (move) electronic source record to Appraisal Memorandums
Directory. Delete when superseded or obsolete, or when 3 years old,
whichever is sooner.
c. Quarterly Narratives.
Record copy scheduled for permanent retention in . Upon approval
of office head, transfer (move) electronic source records to
Quarterly Narratives Directory. Maintain for ---- years, then
delete.
d. Press Releases
Record copy (paper) scheduled for permanent retention in N1-XX-
XX-X. Upon issuance of press release, transfer (move) electronic
source record to Official Electronic Press Release Directory
maintained by Public Affairs. Transfer copies of these press
releases in electronic form to the National Archives on an annual
basis according to procedures in 36 CFR 1228.188 and 1228.190.
Example of exceptions Based on Agency Function
Electronic Mail and Word Processing Source Records Relating to
White House and Congressional Inquiries. Electronic mail messages
and word processing records created by all components in responding
to Congressional Committee and Presidential correspondence. Record
copy scheduled for permanent retention in N1-XX-XX-X. Delete ____
years after component office input is completed.
Example of Exception Based on Business Process
Electronic Source Records Relating to the Development of
Regulations
Electronic source records used to produce recordkeeping
documents for 11 individual series that together document the
process of regulatory development. These series are currently
scheduled under the following schedules: N1-XXX-XX-XX (Items x, x,
x); NC1-XXX-XX-XX (items X,x, and x), etc.
Following production of the recordkeeping copy, maintain a copy
of each source document until the completion of regulatory
development process, then destroy.
Example of Exceptions Based on Agency Component
Electronic Source Records of the Executive Secretariat, Office
of the Secretary Program Correspondence and Messages.
Record copy (paper) scheduled for permanent retention in N1-XX-
XX-X. Transfer (move) to appropriate Program Correspondence
Directory. Cut off annually. Transfer to NARA in accordance with the
disposition for the Secretary's paper file and according to
procedures in 36 CFR 1228.188 and 1228.190.
Model 3--an agency would provide for the disposition of all
electronic source records under one schedule item.
Description: Under Model 3, the agency may propose a single item to
[[Page 39192]]
cover all of the agency's electronic source records. The single item
should identify all of the records disposition schedules to which it
applies by citing EITHER the appropriate agency published disposition
manuals OR the approved disposition schedule(s) (NARA registration
number for the SF 115). Agencies also may implement this model by
submitting a schedule with one item for all program records and one
item for all administrative records, or a schedule with separate
schedule items for electronic source records from electronic mail
messages and electronic source records from word processing files.
Agencies who choose this model should recognize that NARA may
propose exceptions to the single disposition (along the lines of Model
2) when it appears from NARA's review that there are reasons for
specifying individual retentions for the electronic source records of
certain series, functions, or organizations. NARA's review of the
schedule will be series-based even though the Model 3 schedule groups
all series for disposition. NARA's review will be based on the
information provided in the questionnaires completed by agencies (Part
I) and the agency's existing schedules. NARA's Federal Register notice
will provide the public the opportunity to review the schedules on a
series basis also by listing the approved records schedules or
disposition manual to which the new item would apply.
Appropriate Usage: This model may be used when the agency
determines, after conducting a review of its schedules, that it has no
present business need to maintain the electronic source record on the
originating application and the same disposition is appropriate for the
electronic source record copy of all of its office automation-generated
records not covered by the General Records Schedules. This scheduling
option represents an interim step as agencies develop the capacity for
better management of their electronic records. Model 3 is most
appropriate when the agency (1) has an up-to-date schedule, (2) has
little or no capability for electronic recordkeeping, (3) has no
present business need for maintaining records electronically, and (4)
determines that the public interest is adequately served by the
recordkeeping copies. Model 3 is also most appropriate for agencies
that have scheduled series in electronic recordkeeping systems to
provide disposition authority for the electronic source records.
Sample Wording
This schedule covers the electronic source records maintained in
the originating e-mail, word processing, spreadsheet, or
presentation office automation applications. The disposition of the
recordkeeping copy was previously approved by NARA under the
following SF 115s (or agency published disposition manuals)
currently in effect: (List the previously approved schedules
included in coverage.) These electronic source records are not
maintained in recordkeeping systems and analysis has shown that
these electronic records are not necessary to support the business
needs of the agency.
Appropriate Disposition Instructions: Agencies may use the
disposition instructions provided in NWM 06-98 (Delete when file copy
is generated or when no longer needed for reference or updating,
whichever is later) or may propose a longer retention period.
Submitting a Planning Package for Scheduling Electronic Source
Records
Agencies unable to submit schedules for all electronic source
records within the time frame set by the NARA bulletin must submit a
planning package to NARA within 120 days. The planning package must
include a statement from the agency head that comprehensive schedule
requests cannot be completed within 120 days, a commitment to a plan
for the scheduling of electronic source records within no more than two
years, and a request for an interim disposition authority for all
electronic source records.
The agency plan must contain a time line with milestones for
completing a review of the agency's existing records schedules and for
submitting SF 115's based on that review. NARA intends to work closely
with the agency to ensure that the plan is realistic and that the
agency demonstrates steady progress in meeting its milestones. The
following parts of the planning package can be organized to meet the
agency's particular needs, but all parts must be present:
Assessment of the completeness and currentness of the
agency disposition schedule. The agency must:
(1) Identify segments of the schedule that are out-of-date and
assess what work must be done to bring the schedule up to date (e.g.,
inventory or survey records-holding units, update organizational
references).
(2) Identify program areas that are not covered by the agency
disposition schedule and assess what work must be done to prepare the
SF 115 to cover those records.
If the agency cannot perform a detailed assessment of the agency
disposition schedule before submitting the plan, completion of the
detailed assessment must be one of the early milestones of the plan.
The minimum assessment provided with the plan must include the date(s)
of the latest changes to the agency disposition schedule and a
preliminary assessment, by chapter or program area.
Milestones for taking actions. NARA expects agencies to
submit incremental SF 115's covering segments of their activities
throughout the period that the plan is in effect to demonstrate steady
progress in scheduling their program and unique administrative records.
Each incremental SF 115 must be accompanied by a completed agency
supplementary information questionnaire (see Part I)
Disposition Request (SF-115) for interim disposition
authority for electronic source records. Since the implementation of
the plan may take a considerable period of time, agencies should submit
an interim SF 115 to authorize disposition of the electronic source
records from office automation applications for the period of time that
the plan covers. This interim schedule will normally follow the format
of Model 3 as described above, will be reviewed by NARA, and published
for comment in the Federal Register. The interim disposition authority
will remain in force no longer than the time period of an approved
agency plan. Incremental schedules that are submitted (in accordance
with the plan milestones) and approved will supersede the interim
disposition authority for the records they cover.
NARA Action
Schedule Review
NARA will review agency submissions and work closely with the
agencies to approve their schedules and/or plans in a timely manner.
NARA recognizes the need to act as quickly as possible to ensure that
agencies have approved dispositions for their office automation records
not needed for the conduct of agency business and NARA will develop
procedures to streamline the processing of these schedules. Even
streamlined procedures must include, however, a 90-day-period for the
preparation and publication of disposition requests in the Federal
Register and the review and analysis of any comments received.
NARA's review of disposition requests for electronic source records
will focus on the agency's reports describing their technological
capabilities, business needs, and status of e-mail and other electronic
recordkeeping guidance. NARA's review will be a series-based review for
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program records and a more general analysis for administrative records.
Plan Review
NARA will review and approve those agency plans for completing the
scheduling of electronic source records that provide for the submission
in a timely fashion of incremental schedules that will, within the time
specified, cover the electronic source records of all of its program
and agency-specific administrative records (administrative records not
covered by GRS 1-16, 18, and 23). If an agency's existing records
schedules do not cover all of its program and unique administrative
records, the agency must also submit updated schedules for those
records, following the instructions in NARA Bulletin 98-02. NARA will
normally approve as submitted the requests for interim disposition
authority included with approved agency plans. NARA may, however,
propose exceptions for specific series that it determines warrants
longer retention.
Public Notice for Review of SF 115's
NARA will publish notices in the Federal Register for all schedules
submitted following its normal practice, except that the schedules will
be identified as specifically proposing dispositions for electronic
source records. Following NARA's recently instituted practice, copies
of appraisal memoranda may be requested for review with the schedule.
For interim disposition authority requests associated with a plan,
commenters may request a copy of the agency's proposed plan to use in
their review of the disposition request.
When a copy of a schedule is requested, NARA also will provide the
list of schedule citations (NARA job numbers) or published agency
manual citations submitted by the agency for previously approved
schedules that are being updated to include dispositions for electronic
source records from office automation applications. This will allow the
public the opportunity to review the proposed dispositions on a series
basis. The Federal Register notices will indicate if the cited
previously approved schedules can be reviewed on NARA's Internet ARDOR
(Agency Disposition Online Resource) site (http://ardor.nara.gov). If
the previously approved schedules or agency manuals are not available
electronically from NARA, requestors can review them at the Archives II
building in College Park, MD, or can request copies of them. Copies
will be furnished on a fee basis, with the first 100 pages furnished
free.
Part I--Questionnaire To Be Answered by Agencies for Each
Electronic Source Records Disposition Request (SF 115)
(In addition to a signed copy of the disposition request (SF 115),
please provide copies on disk in WordPerfect or Microsoft Word format
of the request and the related completed questionnaire, to expedite
processing.)
NAME OF AGENCY
CONTACT PERSON
(Person to contact if NARA has questions about this submission. Please
include name, telephone number, and e-mail address)
DATE OF ELECTRONIC SOURCE RECORDS DISPOSITION REQUEST:
(Please attach copy of SF 115 submission)
1. How many separate disposition requests for electronic source
records have been submitted by the agency?
2. Which agency components/functional areas/business processes are
covered by this disposition request? For each agency component or
functional area or business process, provide the name or description.
(Please note that each major agency component or functional area should
be described in a separate response to this questionnaire. However, if
some of the answers are true for all components of the agency, please
provide one agency response and reference that item on the
questionnaire response for each subsequent subunit.)
3. What scheduling model is used in this disposition request
(Models 1, 2 or 3)?
4. Why did your agency choose this model? If you are proposing a
disposition that deletes electronic source records upon creation of a
recordkeeping copy, please explain how this disposition will allow for
you to address your agency's business needs (the need to conduct agency
business, maintain a record of essential activities and decisions for
agency use, support oversight and audit of those activities, and permit
appropriate public access).
5. List NARA approved disposition authorities that are covered by
this disposition request for this agency component or functional area.
(List schedule and item numbers, or refer to agency printed manuals. If
manuals are cited, please provide with this request a copy of the most
recent manual.)
6. Are you using an electronic recordkeeping system for managing
records generated by office automation systems? If yes, are you using a
COTS system (please specify which one) or a system developed
specifically for your agency?
[Note: An electronic recordkeeping system has the functionalities
listed in question 7 (a)-(h)]
7. If answer to #6 is no, do the office automation systems for this
component or functional area have any of the functions described below
that are generally associated with electronic recordkeeping systems?
Does the system allow users or system administrators to:
(a) Differentiate between records and non-record material;
(b) Associate transmission information with content of e-mail
records;
(c) Ensure that records cannot be changed after designation as
records;
(d) Support allocation of records to specific series or file codes;
(e) Integrate approved NARA retention periods into series
designations or file codes used;
(f) Support subject matter searches;
(g) Implement shared directories by agency component or functional
unit; and/or
(h) Provide appropriate formats for transfer of permanent
electronic records to NARA (see the requirements in 36 CFR 1228.188).
8. Does your agency component or functional area use COTS document
management software? If so, what systems are used?
9. Has the agency issued guidance on electronic records management,
e-mail and/or recordkeeping guidance that applies to this functional
area? Which of the following topics does this guidance cover:
(a) Distinguishing records from non-record material;
(b) Providing for transfer of complete electronic records
(including transmission data with content for file copies of e-mail,
for instance) to the recordkeeping system;
(c) Record status of drafts;
(d) Filing of electronic records in shared directories;
(e) Naming conventions for electronic records;
(f) Instructions for filing record copies of electronic source
records in approved recordkeeping systems (paper, electronic,
microform, other); and/or
(g) Protecting integrity of records in individual or shared
directories.
10. What efforts has this organization component/functional area
made to ensure that staff comply with e-mail and other electronic
recordkeeping guidance, including formal and informal training and
internal audits/evaluations? What is the scope, content, and frequency
of training? Have audits
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or evaluations of systems covered in this disposition request included
review of the implementation of electronic records guidelines or
policy?
11. To what extent are the records of this agency component or
functional area (excluding administrative records covered by GRS 1-16,
18, and 23) covered by NARA-approved schedules? Are there significant
omissions in schedule coverage? If so, specify the relevant office,
program, or function. What is the date of the latest major schedule
revision or review?
Part II: NARA Bulletin 98-02, Disposition of Electronic Records
The text of NARA Bulletin 98-02 is provided here for convenience of
reviewers. It was distributed to Agency Heads, Records Officers, and
Information Management Officials previously and is in effect.
NARA Bulletin 98-02
March 10, 1998
TO: Heads of Federal Agencies
SUBJECT: Disposition of electronic records
1. Purpose. This bulletin reminds agencies of their
responsibilities for ensuring adequate documentation of agency
activities and provides guidance to Federal agencies concerning new
procedures for submitting records schedules covering new or revised
series.
2. Expiration. This bulletin will remain in effect until October
31, 1998, unless superseded earlier. Agencies will be notified by
NARA bulletin of new procedures for authorizing disposition of
electronic records resulting from the recommendations of the
Electronic Records Work Group to the Archivist of the United States.
3. Background.
a. Agency heads are required by 44 U.S.C. 3101 to ``make and
preserve records containing adequate and proper documentation of the
organization, functions, policies, decisions, procedures, and
essential transactions of the agency. * * *'' NARA regulations at 36
CFR Part 1222 specify agency recordkeeping responsibilities,
including standards for recordkeeping requirements. NARA regulations
at 36 CFR Part 1234 Subpart C specify standards for managing the
creation, use, preservation, and disposition of electronic records.
b. Last October 22, 1997, the U.S. District Court for the
District of Columbia issued an order declaring NARA's General
Records Schedule (GRS) 20 ``null and void.'' The court's order was
in response to a suit filed by Public Citizen and other
organizations against the Archivist of the United States, the
Executive Office of the President (EOP), the Office of
Administration, and the United States Trade Representative. The
Government has filed an appeal of the court's declaratory judgment.
The Department of Justice has advised that pending the appeal,
government agencies may continue to rely upon GRS 20.
c. Although the Government has appealed the court's decision,
fundamentally NARA believes that the Government needs to develop a
better approach to the disposition of records created on word
processing and electronic mail applications. NARA's Strategic Plan
includes several strategies for improving the management of
electronic records. As part of one of these strategies, NARA is re-
evaluating how it approves the disposition of electronic records. To
focus NARA's efforts on changing GRS 20, NARA has formed an
interagency Electronic Records Work Group, consisting of select NARA
staff, Federal records officers, and information management
specialists, with oversight by the Deputy Archivist of the United
States. The Work Group is to have recommendations to the Archivist
by July 1 and an implementation plan by September 30, 1998.
4. Agency recordkeeping requirements. Agencies are reminded that
NARA regulations provide guidance and requirements on recordkeeping
policies and practices to assist agencies in ensuring adequate and
proper documentation of agency activities. To support operational
needs, protect rights, and allow accountability, agencies must
create and preserve complete records in designated recordkeeping
systems.
a. To ensure complete documentation, records, including those
generated electronically with office automation applications, should
include proper identification of originators and recipients,
appropriate dates, and any other information needed by the agency to
meet its business needs. Records generated with an office automation
application must be copied to a recordkeeping system where they will
be maintained as long as they are needed by the Government.
b. Proper recordkeeping systems organize or index records to
provide context and to allow appropriate staff access to all records
relating to a specific transaction, project, study, or subject.
Recordkeeping systems may be in paper, micrographic, or electronic
format.
5. Impact on scheduling. While NARA is reconsidering its
policies on the disposition of electronic records generated with
office automation applications and pending the recommendations of
the Work Group, NARA advises agencies to follow the instructions
provided below.
a. Subsequent to the issuance of this bulletin, new and revised
items on SF 115s, Request for Records Disposition Authority,
submitted for NARA approval must include provision for the
disposition of both the copy of a record that resides on electronic
mail or other office automation application, and the copy maintained
in the recordkeeping system:
(1) When new and revised items include records generated on
office automation applications, the description on the proposed
schedule should indicate that records were generated using office
automation, AND
(2) For each such item the proposed schedule should provide
separate disposition instructions for the recordkeeping system
described in the schedule and for the electronic copy created by the
office automation application.
b. Agencies should monitor the Electronic Records Work Group
Internet Web page at http://www.nara.gov/records/grs20/ and submit
comments and suggestions to the Work Group on Work Group documents
posted for comment.
6. NARA action. NARA will provide guidance and assistance to
agency records officers concerning recordkeeping requirements and
new scheduling procedures. NARA will advise agencies promptly of any
Court action affecting maintenance and disposition of electronic
records.
7. For further information. Please direct questions or comments
to Michael Miller, Modern Records Programs, National Archives and
Records Administration, 8601 Adelphi Road, College Park, MD 20740-
6001 (telephone: 301-713-7110, ext. 229) or by electronic mail to
<[email protected].
John W. Carlin,
Archivist of the United States.
Part III: NWM 06-98, Memorandum to Agency Records Officers and
Information Management Officials
The text of NWM 06-98 is provided here for the convenience of
the reviewer. It has been issued to the addressees.
March 13, 1998
NWM 06-98
MEMORANDUM TO AGENCY RECORDS OFFICERS AND INFORMATION MANAGEMENT
OFFICIALS: Disposition of Electronic Records and Other Matters
Enclosed is a copy of NARA Bulletin 98-02 which the Archivist of
the United States sent to heads of Federal agencies concerning
significant recent events relating to the disposition of Federal
electronic records. The bulletin provides an update on the status of
the litigation concerning General Records Schedule 20, Electronic
Records and reminds agency heads of their recordkeeping
responsibilities. Even though the Government has filed an appeal of
the District Court's declaratory judgment, the plaintiffs recently
filed a motion asking the District Court to schedule a hearing on
the plaintiffs' request for an injunction requiring the Archivist to
instruct agencies that they cannot rely upon GRS 20 as authority to
dispose of records. The District Court has granted the motion for a
hearing, which is scheduled for March 20, 1998.
The bulletin also establishes a new procedure for scheduling
electronic mail and other records created with office automation
applications. As indicated in paragraph 5 of the bulletin, when
agencies submit schedules (SFs 115) to NARA for approval, the
description for new or revised items that include records generated
with word processing, electronic mail, or other office automation
applications must indicate the presence of such records and provide
a separate disposition instruction for the copies of the records
that remains on the originating application. The following example
contains the necessary components.
1. Program Subject File.
Correspondence, reports, studies, forms, and other records
relating to the program, documenting plans, progress, and
accomplishments. Includes records generated with word processing and
electronic mail applications.
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a. Official file.
Destroy when 5 years old.
b. Electronic version of records created by the electronic mail
and word processing applications.
Delete when file copy is generated or when no longer needed for
reference or updating.
This approach will better document the nature of the series and
give NARA the opportunity to consider the existence of electronic
versions of records when approving schedules. If you have any
questions about the new scheduling procedures, contact the NARA
staff member assigned to work with your agency.
The Electronic Records Work Group referred to in NARA Bulletin
98-02 has identified a series of possible options for replacing GRS
20, or parts of it, and other mechanisms for the disposition of
certain types of electronic records. A paper, ``Preliminary Options
for Replacing GRS 20,'' has been posted for public comment on the
Internet Web site for the Work Group at <http://www.nara.gov/
records/grs20/opt312.html>. As the work group has a tight deadline,
we need your comments and suggestions by March 31. You may
contribute to this effort by sending an electronic mail message to
[email protected]; by sending a letter to Electronic Records Work
Group, National Archives and Records Administration, 8601 Adelphi
Road, Room 2100, College Park, MD 20740-6001; or by sending a
facsimile transmission to 301-713-6852. If you send mail, please
allow sufficient time for it to arrive by March 31. The Work Group
may not be able to fully consider materials that arrive after that
date. Any comments that you submit will be considered your personal
views unless you indicate that they represent your agency's
comments.
Also enclosed is NARA Bulletin 98-01, Checklist of NARA
bulletins, which provides a list of bulletins issued prior to fiscal
year 1998 that are still in effect.
Michael L. Miller,
Director, Modern Records Programs.
[FR Doc. 98-19466 Filed 7-20-98; 8:45 am]
BILLING CODE 7515-01-P